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About MainStay

MainStay Overview
Our Qualifications
Career Opportunities


Management Profiles

John L. Shields


Contact Us


603-430-8317
info@mainstaycg.com

Home > Client Resources

Client Resources


Regulatory Agencies

  • Securities and Exchange Commission (SEC)
  • The Financial Industry Regulatory Authority (FINRA)
  • The North American Securities Administrators Association (NASAA)
  • U.S. Commodity Futures Trading Commission
  • Chicago Board Options Exchange, Incorporated (CBOE)
  • Office of Foreign Assets Control
  • Municipal Securities Rulemaking Board's (MSRB)


Registration

  • Investment Adviser Registration Depository (IARD)

  • Investment Adviser Public Disclosure WebSite (IAPD)

  • FINRA Central Registration Depository (CRD)
  • FINRA Entitlement Process
  • SEC Form ADV Reference Site
  • SEC IARD Reference Site


Federal Securities Laws

  • The Investment Advisers Act of 1940 | Rules and Regulations
  • The Investment Company Act of 1940 | Rules and Regulations
  • Securities Act of 1933 | Rules and Regulations
  • Securities Exchange Act of 1934 | Rules and Regulations

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